RS

Robert a Cooke SR

24 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
4 advisors
Number of Clients
52 clients
Average Client Portfolio
$593K average
Assets Under Management
$30.9M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Flat)
Assets Under ManagementAnnual Fee
$0+2.00%

Fees are subject to negotiation.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee

Broxton Capital Advisors charges an annual advisory management fee of 2% of assets under management, which is subject to negotiation. This fee does not include administrative fees or transaction costs. Fees are payable quarterly, in advance. The minimum account size for new discretionary accounts is $100,000, though smaller accounts may be accepted at the firm's discretion.

Areas of Practice
Investment Management
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Advisor Information

Office location

Memphis, TN

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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2001
Settled
Customer Dispute
December 1998
Settled
Other Business Activities

Robert is involved with Doozy Cards, LLC, dedicating a few hours per week. He also spends minimal time per week with Broxton Capital Advisors and nearly full-time hours with Hudson Cooper Asset Mgmt, Inc.

Employment History
Current Registrations
Broxton Capital Advisors
January 2019 - Present · 7 yrs
Previous Registrations
Broxton Capital Advisors
February 2015 - May 2017 · 2 yrs 3 mos
Broxton Capital Advisors LLC
April 2012 - June 2012 · 2 mos
Hudson Cooper Asset Management, INC.
January 2012 - January 2022 · 10 yrs
Broxton Capital Advisors LLC
April 2008 - April 2012 · 4 yrs
Western International Securities
March 2006 - May 2007 · 1 yr 2 mos
UBS Financial Services INC.
March 2000 - April 2006 · 6 yrs 1 mo
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.